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Detailed Report
Registration History
200620082010201220142016201820202022202420262 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - 2017 (6 years)2 FIRMS2017 - 2022 (4 years)IACWM, LLC (CRD# 155344)2023 - Present (2 years)
Disclosure(s)
View By:
11/4/2006
Criminal
Final Disposition
License(s)

State Registrations

IA
Pennsylvania 1/5/2023
Current Registration(s)
IA
CWM, LLC (CRD#:155344)
1 Tyler Court, Carlisle, PA 17015
Registered with this firm since 1/5/2023
Previous Registration(s)
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IA
 10/31/2017 - 04/28/2022 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) GRESHAM, OR
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 10/31/2017 - 04/28/2022 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) GRESHAM, OR
IA
 01/03/2011 - 10/10/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) GRESHAM, OR
B
 01/03/2011 - 10/10/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) GRESHAM, OR
IA
 07/09/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PORTLAND, OR
B
 05/07/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PORTLAND, OR
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.